Top of mind issues for capital markets and wealth management

Understanding the evolving regulatory landscape in capital markets and wealth management is important. Our latest summary of the market explores recent SEC and CFTC regulations, such as updates to US Treasury securities clearing, margin requirements, and Form PF, along with their effects on M&A activities in the wealth management sector. Download our summary to gain insights into the industry and discover potential strategies for success in these areas:

• US Treasury central clearing and settlement transactions
• CFTC issues final rule on Margin Adequacy and Treatment of Separate Accounts
• SEC Rule 15c3-3 – Daily reserve computation
• Definition of “Dealer” and “Government Securities Dealer”
• Cryptocurrency assets – Regulatory landscape
• Regulatory change and leveraging GenAI
• M&A deal market in wealth management
• Form PF amendments
• Form SHO 13f-2 extension